A vibrant market is at its best when it works for everyone.

Research a Broker or Firm
Search Brokercheck
Report / Study

2024 Regulatory Oversight Report

The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs.
Read More
Events & Training

The Small Firm Conference Call

Register for the June 3 Small Firm Conference Call on the intersection of cybersecurity, fraud and financial crimes, with resources, tools and tips for mitigating risks. Registration is open to all member firms.
Read More
Investor Insights

What It Means to Be Regulated by FINRA

Have you ever wondered who protects investors—and how? FINRA, the Financial Industry Regulatory Authority, is a not-for-profit organization authorized under the federal securities laws and registered with the Securities and Exchange Commission (SEC). Alongside the SEC, FINRA oversees U.S. member broker-dealers and their personnel, including individuals who recommend or sell securities products to the public. FINRA’s mission is protecting the investor and ensuring the integrity of our country’s securities markets.
Read More
See What's New

Fixed Income Data Center

Flexible access to high-value data and analysis is a critical need for investors, member firms and markets. The Fixed Income Data Center is our go-to resource for comprehensive, real-time access to fixed income security and trade information from multiple sources. Create a Watchlist for data most important to you.

Read Now

Exposing Insider Risk

FINRA’s Insider Trading Detection Program is designed to provide U.S. law enforcement and regulators worldwide with actionable intelligence about potential insider trading that occurs on the U.S. markets. The intelligence we provide—over 450 referrals in 2023 alone—routinely result in criminal and civil action.

Read Now

FINRA’s Crypto Hub

The Crypto Hub is a FINRA-wide effort to ensure we are prepared to fulfill our regulatory mission regarding the crypto asset-related activities of member firms and associated persons. The Hub serves as a nerve center to manage FINRA’s regulatory work related to crypto assets.

Learn More

Announcements

follow
Follow FINRA on Instagram
Follow FINRA's new Instagram page at @_FINRA to find investor-focused content designed to help the everyday investor up their investing know-how.
Read More
Business Image
Careers
Learn How to Become a FINRA Member Firm Video Series

This video series helps firms currently in the Membership Application Program (MAP) process including those who are considering registering a new broker-dealer firm or filing a continuing membership application.

Read More
News Release
FINRA Enhances Post-Trade Transparency in U.S. Treasury Securities Market
Read More
News Release
FINRA Fines M1 Finance $850,000 for Violations Regarding Use of Social Media Influencer Program
Read More
Media Center
Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team
Listen Now

2020068810001 Jimmy J. Galindo CRD 2922619 AWC lp (2024-1706833192399).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068810001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jimmy J. Galindo (Respondent) General Securities Representative CRD No. 2922619 Pursuant to FINRA Rule 9216, Respondent Jimmy J. Galindo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2024-002

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members  related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) incurred prior to January 1, 2022.  These fees would be payable to Consolidated Audit Trail, LLC (“CAT LLC” or “the Company”)  and referred to as Historical CAT Assessment 1.

SR-FINRA-2024-003

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment.
 

SR-FINRA-2024-001

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 3240 (Borrowing From or Lending to Customers).
 

Subscribe to